Compliance Associate

Compliance AssociateAbout CressetCresset is an award-winning, independent, multi-family office, and private investment firm. Cresset's goal is to reinvent the way people experience wealth by providing access to the talent, ideas, and investment opportunities available to the largest single-family offices and endowments. We offer deeply personalized wealth management, investment advisory, and family office services through Cresset Asset Management, an SEC-registered investment advisor that has surpassed $50 billion in assets under management. The firm is widely recognized for its excellence and is frequently ranked as a Barron's and Forbes top RIA firm.Job DescriptionBased in either Chicago or San Francisco, the Compliance Associate will help support the ongoing efforts of Compliance with a primary focus on core day to day and administrative Compliance responsibilities. Additionally, this person will assist the Compliance team with ad-hoc Compliance projects. This is a great opportunity for a person with experience at an RIA, broker-dealer, securities regulator, or other related financial institution. The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented, and precise, while remaining flexible to changing priorities.Key ResponsibilitiesBe an integral part of the compliance team and assist in the various aspects of our compliance programs.Become proficient and maintain our various Compliance systems and technologies Vendor liaison for all Compliance applications and assist in system administration, maintenance, and data entry.Maintain books and records, compliance calendar, and files.Perform compliance monitoring and tests as needed. Assist with compliance policy updates, training & education.Keep track of team goals, organize and maintain status of meetings and projects.Perform andor assist with special projects.Qualifications Beneficial to the Responsibilities of the PositionCollege graduate1-5 years experience in financial services or with a regulatory organizationExperience with a registered investment advisor or broker-dealerExperience in a compliance capacityExceptional organization and planning skills with ability to multi-taskAttention to detail and follow-throughVersatile, flexible, and a willingness to work with changing prioritiesStrong communication, written, verbal and listening skillsProficiency with Microsoft Office Suite (Word, Excel, and PowerPoint, and Outlook) What We Offer:At Cresset, we focus on people first. As a service business, our people are our assets. Engaging our clients and employees is our highest priority. Starting base salary range: $60,000 - $120,000. Salary will be based on factors including, but not limited to, experience, licensescertifications, industry knowledge, and geographic location. Cresset offers a competitive compensation package including an annual incentive and a benefits package to all full-time employees including medical, dental, vision, life insurance, 401(k) retirement plan, health savings accounts, short and long-term disability insurance, voluntary critical and accident insurance, and pre-tax parking and transportation programs. Aligning employee and organizational interests, all employees receive equity in Cresset.Equal Employment OpportunityIt is the policy of Cresset to ensure equal employment opportunity (EEO) for all employees and applicants for employment without regard to race, color, religion, sex, pregnancy (including childbirth, lactation, or related conditions), national origin or ancestry, age, disability, veteran status, uniformed servicemember status, sexual orientation, gender identity, status as a parent, genetic information (including testing and characteristics), or any other characteristic protected by applicable federal, state, or local law. It is Cresset's policy to comply with applicable laws concerning the employment of persons with disabilities, including reasonable accommodation for applicants and employees with disabilities.

Created: 2024-10-27